William K. Joseph
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Kenneth Joseph, who also goes by William K Joseph, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 10 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2023 - October 23, 2024
BEACON POINTE ADVISORS, LLC
October 29, 2018 - April 21, 2023
YORKBRIDGE WEALTH PARTNERS, LLC
May 19, 2015 - January 4, 2017
LEBENTHAL WEALTH ADVISORS, LLC
April 29, 2015 - June 30, 2016
LEBENTHAL & CO., LLC
June 1, 2009 - May 6, 2015
MORGAN STANLEY
June 1, 2009 - May 6, 2015
MORGAN STANLEY
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 22, 1977 - July 31, 1993
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
September 25, 1970 - November 8, 1974
HAYDEN STONE INC.
Primary Firm SEC Registration
BEACON POINTE ADVISORS, LLC
CRD#: 119290 / SEC#: 801-60943
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 3/12/1982
AMEX Put and Call ExamSeries 1
Date: 8/18/1967
Registered Representative ExaminationCurrent Firm
BEACON POINTE ADVISORS, LLC
CRD#: 119290 / SEC#: 801-60943
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 54,870 |
| AUM (Assets Under Management) | $ 39,839,757,384 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 12/26/2024 | ||
| 11/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
